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2019 FINRA Anti-Money Laundering (AML) Half-Day Seminars

FINRA’s Anti-Money Laundering (AML) Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems.

The seminars are designed for AML compliance professionals from firms of all sizes who are new to their role, or to those who are looking to reinforce their understanding of regulatory requirements and compliance responsibilities. 

In 2019, FINRA is hosting AML Half-Day Seminars—each led by managers of FINRA’s AML Unit. Register below to attend a seminar in your area.

District Date Venue Fees Registration

7 – Boca Raton

November 14, 2019
9:00 a.m. – 2:00 p.m.

Boca Raton Marriott at Boca Center
5150 Town Center Circle
Boca Raton, FL 33486
(561) 392-4600



Registration and Fees

The fee to participate in an AML Half-Day Seminar is $195, which includes materials and access to pre-course readings. Continental breakfast and lunch will be served. AML Half-Day Seminar programs are open to employees of FINRA member firms. Participants must provide their firm's broker-dealer number when registering.

Space is limited and available on a first-come, first-served basis. Registration closes one week prior to each program.

Registration Confirmation: You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to making travel arrangements or arriving at the event.

Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the program sell out or in the unlikely event that changes to the date and/or location become necessary.

Cancellation Policy: Refunds for registration, less a $75 processing fee, will be granted for written requests received 14 days or more prior to the start date of the program. Please send your refund request via email.

Questions: Contact (800) 321-6273.


FINRA members should complete the form below and click "Submit" to proceed.


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